at UBS
Bulge Bracket Investment BanksPosted 5 days ago
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**Financial Controller** drives key aspects of GWM's Business Aligned Compliance & Operational Risk Control (C&ORC). Duties include providing expert C&ORC advice, reviewing processes, tracking regulation changes, updating policies, and handling projects and investigations. Sharp analytic skills, and passion for issue resolution and stakeholder collaboration are essential. Proven experience in a financial compliance role and familiarity with relevant regulations are required.
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Full Job Description
| Do you have sharp analytic skills and the ability to identify compliance and risk issues? Do you have the passion to resolve issues and provide trusted advice to your business partners and stakeholders? We are looking for someone to like that to join the GWM Business Aligned Compliance & Operational Risk Control (C&ORC) team to: - Provide high quality C&ORC advice to Business and Support functions on applicable internal policies, laws and regulations - Provide C&ORC reviews / sign-offs / approvals where processes require - Provide high level analysis on changes to regulations and provide support to the Business on implementation - Be responsible for ongoing review and update of Compliance Manual and other relevant local policies/procedures - Carry out any ad-hoc reviews that arise from Global Functions, Business / Support functions, regulators or when required - Participate in ad-hoc projects as the C&ORC representative - Perform ad hoc investigations into matters or issues that are escalated to C&ORC - Design and delivery of compliance training and / or materials including induction and quarterly black belt trainings. | Show more Senior Officer, Compliance & Operational Risk Control GWM |
